Oppenheimer Holdings Inc. Reports Director Departure and Officer Appointments

Ticker: OPY · Form: 8-K · Filed: May 7, 2024 · CIK: 791963

Oppenheimer Holdings Inc 8-K Filing Summary
FieldDetail
CompanyOppenheimer Holdings Inc (OPY)
Form Type8-K
Filed DateMay 7, 2024
Risk Levelmedium
Pages3
Reading Time4 min
Key Dollar Amounts$0,001
Sentimentneutral

Sentiment: neutral

Topics: director-departure, officer-appointment, corporate-governance

TL;DR

Oppenheimer Holdings Inc. board shakeup: Director out, new officers in, and exec pay details disclosed.

AI Summary

Oppenheimer Holdings Inc. announced on May 6, 2024, the departure of director Albert Nicholas, effective immediately. The company also reported on the election of new directors and the appointment of certain officers, along with details on compensatory arrangements for these officers. Additionally, the filing covers matters submitted to a vote of security holders and includes financial statements and exhibits.

Why It Matters

Changes in board composition and executive appointments can signal shifts in company strategy or governance, impacting investor confidence and future performance.

Risk Assessment

Risk Level: medium — Director departures and executive appointments can introduce uncertainty regarding future strategy and leadership stability.

Key Players & Entities

  • Oppenheimer Holdings Inc. (company) — Registrant
  • Albert Nicholas (person) — Departing Director

FAQ

Who is the departing director and when was their departure effective?

Albert Nicholas is the departing director, and his departure was effective immediately on May 6, 2024.

What other key items are covered in this 8-K filing?

The filing also covers the election of directors, appointment of certain officers, compensatory arrangements for officers, submission of matters to a vote of security holders, and financial statements and exhibits.

What is the company's Central Index Key (CIK)?

The company's CIK is 0000791963.

What is Oppenheimer Holdings Inc.'s fiscal year end?

Oppenheimer Holdings Inc.'s fiscal year ends on December 31.

What is the filing date for this 8-K report?

The report was filed as of May 7, 2024, with the earliest event reported on May 6, 2024.

Filing Stats: 1,038 words · 4 min read · ~3 pages · Grade level 9.6 · Accepted 2024-05-07 08:52:03

Key Financial Figures

  • $0,001 — Class B voting common stock, par value $0,001 per share, of the Company (the "Class B

Filing Documents

07. Submission of Matters to a Vote of Security Holders

ITEM 5.07. Submission of Matters to a Vote of Security Holders. The Company held the 2024 AM on May 6, 2024 . As of the close of business on March 8, 2024, the record date for the 2024 AM, there were 99,665 shares of Class B voting common stock, par value $0,001 per share, of the Company (the "Class B Shares") outstanding and entitled to vote at the 2024 AM. Each Class B Share was entitled to one vote. Stockholders holding an aggregate of 97,306 Class B Shares entitled to vote at the 2024 AM, representing 98% of the outstanding Class B Shares as of the record date, and which constituted a quorum thereof, were present in person or represented by proxy at the 2024 AM. At the 2024 AM, the Company's stockholders considered three voting proposals, each of which is described in more detail in the Company's 2024 Proxy Statement. The final voting results of each voting proposal brought before a vote of the Company's stockholders at the 2024 AM are set forth below: Matter No. 1 - Election of Nine Directors. The nine director nominees proposed by the Board were elected to serve as members of the Board until the next annual meeting of stockholders and until their respective successors are duly elected and qualified by the following final voting results: Name For Withheld Broker Non-Votes Evan Behrens 97,306 0 0 Timothy M. Dwyer 97,306 0 0 Paul M. Friedman 97,306 0 0 Teresa A. Glasser 97,306 0 0 Stacy J. Kanter 97,306 0 0 Albert J. Lowenthal 97,306 0 0 Robert S. Lowenthal 97,306 0 0 R. Lawrence Roth 97,306 0 0 Suzanne E. Spaulding 97,306 0 0 2 Matter No. 2 - Appointment of Deloitte & Touche LLP as auditors and Authorization to Fix Remuneration. The voting proposal to ratify the appointment of Deloitte & Touche LLP as auditors of the Company for 2024 and authorize the Audit Committee to fix the auditor's remuneration was approved by the following final voting results: Votes For Votes Withheld Broker Non-Votes 97,306 0 0 Matter No. 3 – Adoption of

01. Financial Statements and Exhibits

ITEM 9.01. Financial Statements and Exhibits. Exhibits: The following Exhibit is submitted herewith. 99.1 Annual Stockholders' Meeting Presentation dated May 6, 2024 10.1 Oppenheimer Holdings Inc. 2024 Incentive Plan (Effective May 6, 2024) 10.4 The Cover Page from this Current Report on Form 8-K, Formatted in Inline XBRL 3

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized. Oppenheimer Holdings Inc. Date: May 7, 2024 By: /s/ Brad M. Watkins --------------------------------- Brad M. Watkins Chief Financial Officer (Duly Authorized Officer) 4 EXHIBIT INDEX Exhibit Number Description 99.1 Annual Stockholders' Meeting Presentation dated May 6, 2024 10.1 Oppenheimer Holdings Inc. 2024 Incentive Plan (Effective May 6, 2024) 104 The Cover Page from this Current Report on Form 8-K, Formatted in Inline XBRL 5

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